UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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FORM
CURRENT REPORT
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| Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
Effective July 26, 2024, the Board of Directors of Sound Point Meridian Capital, Inc., a closed-end management investment company that has registered as an investment company under the Investment Company Act of 1940, as amended (the “Company”), accepted the resignation of Ivana Kovačić as Chief Compliance Officer (“CCO”) of the Company and appointed Lucas D. Foss to succeed Ms. Kovačić as CCO of the Company, effective upon the resignation of Ms. Kovačić. The appointment was made in connection with the departure of Ms. Kovacic from ALPS Fund Services, Inc. (“SS&C ALPS”) to pursue other opportunities effective July 26, 2024. Mr. Foss will serve as CCO of the Company until his successor is duly appointed or until his resignation or removal.
Mr. Foss, age 46, joined SS&C ALPS in November 2017. He currently serves as Director, Fund Compliance and Governance, at SS&C Registered Fund Services and has over 23 years of experience within the fund services industry. He is the President of two series trusts that include both proprietary and non-proprietary registered funds. He also leads the Fund CCO Services group and reports to multiple boards as the funds’ CCO. Mr. Foss received a B.A. in Economics from the University of Vermont and holds the Certified Securities Compliance Professional (CSCP) designation.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| Sound Point Meridian Capital, Inc. | ||
| Date: July 26, 2024 | By: | /s/ Ujjaval Desai |
| Name: | Ujjaval Desai | |
| Title: | Chief Executive Officer | |
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